Pest Management Standards For Food Plants - National Pest ...

2010
NATIONAL PEST MANAGEMENT ASSOCIATION
Pest Management
Standards For
Food Plants
1

Pest Management
Standards For Food Plants
i

INTRODUCTION
e are pleased to release the 2010 Pest Management Standards for Food Plants,
Wa cornerstone of NPMA’s Commercial Division activities since 2007.
In 2009, NPMA witnessed the evolution of the allergen issue and issued a revised
standard, 2.14. This is incorporated with 2009 changes into this version.
As always, hese standards also DO NOT preempt local, state, provincial, and/or federal
regulations. Any service provided must comply with government regulations or statutes
governing pest management, safety, and food protection. In addition, food plants may
have requirements more stringent than these standards.
Pest management firms embracing the standards have raised the professionalism and
technical abilities to secure the industry role as protectors of food. With the standards, a
comprehensive testing site which provides all pertinent information at www.npmatesting.
com, and the study guide as well as other resources noted in the standards, NPMA has
provided the tools necessary to comply with the standards and to raise the level of
competency of professionals servicing food plants.
As of the date of publication, well over 3,000 technicians have take the exam prepared as
a companion to these standards. That is a credit to the industry’s striving to provide the
best possible service.
We hope that you find these standards a beneficial addition to your own company
protocols and procedures. As protectors of food it is our obligation to exceed
expectations and to see our role as a vital component to overall food safety.
Greg Baumann, Vice President
Technical Services, NPMA
ii

Table of Contents
Introduction.................................................................................................................ii
Definitions...................................................................................................................iv
Section 1: Personnel
1.1 Employee Identification..................................................................................2
1.2 Uniforms...........................................................................................................2
1.3 Security and Criminal Background Checks.....................................................3
1.4 Customer Personnel Practices..........................................................................3
1.5 Vehicles.............................................................................................................4
1.6 Safety................................................................................................................4
1.7 Minimum Training Standards for Technicians................................................5
1.8 Compliance with GMPs....................................................................................6
Section 2: Pest Management Plan
2.1 Rodent Program Exterior Property Survey.....................................................8
2.2 Rodent Management Program-Interior Survey..............................................8
2.3 Rodent Program- Facility History....................................................................9
2.4 Rodent Program- Depth Matrix and Frequency of Service............................9
2.5 Rodent Program-Spacing of Stations..............................................................10
2.6 Rodent Program-Monitoring...........................................................................12
2.7 Insect Program.................................................................................................12
2.8 Birds and Wildlife.............................................................................................14
2.9 Weed Control...................................................................................................14
2.10 Pest Management Survey................................................................................15
2.11 Quality Assurance............................................................................................15
2.12 Annual Training................................................................................................15
2.13 Storage.............................................................................................................16
2.14 Food Allergens.................................................................................................16
Section 3: Communications
3.1 Reporting..........................................................................................................18
Section 4: Recordkeeping and Contracts
4.1 Contracts...........................................................................................................20
4.2 Labels and MSDS..............................................................................................20
4.3 Pest Sighting Log.............................................................................................20
4.4 Licenses and Certificates..................................................................................20
4.5 Service Protocols and Standard Operating Procedures.................................21
4.6 Service and Treatment Records.......................................................................21
Section 5: National Organic Program
5.1 Working in NOP Facilities................................................................................24
Appendix A: Model Pest Management Inspection Report.......................................26
Appendix B: Current Good Manufacturing Practices (US FDA)...............................27
iii

definitions
For definition purposes,
“Company” means the pest management firm
“Contact” means the food plant contact person
“Employee” means pest management firm employee
“Good Manufacturing Practices” means the FDA’s Current Good Manufacturing Practices in the United States, or
equivalent outside of the US.
“Pest management product” means any lure, bait, monitoring product, pesticide, or any other formulated
material used in performance of pest management activities.
“Plant” means a food manufacturing facility including associated warehousing and does not include restaurants
or other food service facilities
“Rodent bait station” means any station used for placement of solid rodenticide bait
“Rodent management station” means any station used for monitoring or managing rodents. These include
mechanical traps, rodent bait stations (see above), and other placed equipment for rodent management.
“Technician” means the pest management firm employee providing service
iv

Section 1
Personnel
1

1
SECTION
SECTION 1: PERSONNEL
1.1 Employee Identification
Reasoning
This section sets forth minimum standards for company employee identification so that
the plant has a clear understanding of which personnel are from the pest management
firm to ensure that plant food safety and security are maintained.
Standard
All employees entering grounds of a food plant shall wear photo identification to include:
• employee name
• employee identification number (if issued by the company)
• company name
• company phone number
• employee photo
• date of issue
The identification shall be worn at all times while the employee is on site unless plant
personnel practices set by the customer prohibit such badges. In addition, plants may
require other identification and badges such as visitor badges and the employee must
comply at all times with the visitor/contractor policies of the plant.
1.2 Uniforms
Reasoning
Uniforms are an important part of the plant safety and standards program. Criteria set are
designed to comply with the majority of food plant requirements for uniforms.
Standard
All employees who perform service work in food plants shall wear uniforms meeting the
plant’s current requirements and at least the following criteria:
• Slip Resistant Sole Shoes (steel tips if required by plant)
• Socks
• Long Pants
• Shirt with sleeves (short or long) with company logo or name
• Bump cap if required by the plant
Uniform closures shall be in compliance with plant requirements.
A clean set of clothing shall be used in plants if the previous account visited has exposed
the clothing to contaminants. These contaminants include but are not limited to
chemical, microbiological, or allergens such as peanut products.
More stringent requirements may be in place for individual plants in addition to these
standards and service personnel must comply with those standards.
2

1.3 Security and Criminal Background
Checks
Reasoning
Security is a major concern at all food plants. This section is designed to ensure that
personnel in food plants have had proper background checks and that they comply with
plant rules.
SECTION 1: PERSONNEL
1
SECTION
Standard
Any newly hired employee, including management, entering a food plant shall have a
criminal background check performed covering the previous five years prior to the date
of hire. The checks shall be part of the records of the company and shall include all states
or provinces in which the employee has lived and/or worked during the previous five
years. Resulting action as a result of the check will be at the discretion of the company
management. Some food plants may have specific requirements and companies must
comply with these requirements in addition to the above. Reminder: Companies must
comply with government regulations related to obtaining background checks.
Plants may also have policies regarding when an employee is permitted onsite and/or
escorted. Companies should understand and comply with all plant policies and provide a
written procedure to employees with a copy in the plant as to:
• Whether advanced notice must be given prior to arrival onsite
• Parking and vehicle use
• Substitute employees (technicians taking place of previous technicians may have to be
on a roster provided to the plant)
• Sign in policies
• Hours of operation when employees may have access
• Visitor badge policies
• Escort policies
• Restricted areas
1.4 Customer Personnel Practices
Reasoning
It is imperative that all employees entering a food plant property understand and comply
with the plant personnel practices. Besides being required by law, compliance is important
as a part of food safety and also plant personnel morale.
Standard
All employees entering a food plant property must have reviewed and signed off on the
standards of the plant in terms of personnel practices as outlined by the plant. If a special
set of standards is in place for plant contractors, then the employee must comply with
the standards. If any questions or conflicts arise, the employee must either notify their
supervisor or the plant contact person.
A copy of the signed document shall be maintained in the plant files.
3

1
SECTION
SECTION 1: PERSONNEL
1.5 Vehicles
Reasoning
Plants have very specific requirements for vehicles both in terms of operations and in
terms of security. This section sets the minimum for vehicle standards.
Standard
All vehicles used for service must:
• Be clearly marked with company name
• Be properly licensed
• Have a current inspection if required by the state or province.
• Have adequate insurance of at least $1 million aggregate bodily injury and property
damage (U.S. and Canada only); for other countries, the minimum insurance required
by law shall be obtained. If plant requires additional insurance, then the plant
requirement must be met
• Be parked in properly assigned area
• Contain materials and equipment secured when unattended to restrict access.
Drivers
A five year motor vehicle background check must be completed for all new company
employees who will drive on plant property.
All drivers must have viewed the NPMA Safe Driving Video or participate in an insurance
industry approved program annually and the company must retain safe driving training
records as required by the insurance company.
In addition, the vehicle must include at least the following equipment:
• First aid kit
• Spill control to cover all products on the vehicle
• Current labels and Material Safety Data Sheets
• Vehicle list (continued):
• Service Kit (carrying kit for small quantities of products and equipment)
• Change of clothing
• Coveralls
• Other equipment required by plant or label of products used in the plant.
1.6 Safety
Background
Safety is a vital part of any pest management program. The pest management company
and the food plant both must maintain safe working environments.
Beyond just minimal regulatory requirements, policies must be in place to ensure a safe
work environment.
Standard
Each company must have a Safety Plan and must document training of all employees
working in food plants. Each company must also provide verification that food plant
specific safety training has been completed. Safety plans must include but are not limited
to:
• Respiratory protection training if a product is used requiring use of a respirator.
Where a respirator is required, respirator training must be completed including the
use of the NPMA Respiratory Safety Video or equivalent. The video is available from
that National Pest Management Association. For contact information, visit www.
npmapestworld.org.
4

• Pesticide safety including the proper understanding of all labels of products to be
used in the food plant, proper use, and disposal of products and containers
• Proper storage of products and equipment
• Emergency Response in case of spills
• Safety of other personnel near pest management activities such as plant employees
and consumers
• Ladder safety and transportation including tie down
• Use of fall prevention
• Lock out and tag out systems
• Pinch hazards
• Crushing hazards
• Shoe safety
• Personal protective equipment
• Definition of accident
• Reporting requirements including use of OSHA 300 ( www.dol.gov)
• Fumigation plan if fumigation is to be performed (fumigation in general is not
covered by these standards)
• Restricted areas in plant
• Confined space entry requirements
• Hazard communication
SECTION 1: PERSONNEL
1
SECTION
Note: An optional safety manual is available for sale through the NPMA Resource Center
which addresses safety program compliance and will provide guidelines for developing a
safety program. For more information go to www.npmapestworld.org.
1.7 Minimum Training Standards for
Technicians
Background
Technicians performing pest management in food plants must be properly trained and
verification of training specific to food plants must be shown.
Standard
Any technician performing pest management services in food plants must be trained.
Certain proof of training must be available to the food plant contact.
These standards require pesticide enforcement regulatory agency certification or
registration and verifiable training specific to food plant pest management including
an exam regardless of whether an exam for the state or province has been passed for
certification or registration of technicians.
Testing is conducted via the internet and is administered for a nominal fee by NPMA.
Procedures and verification are the responsibility of NPMA.
NPMA has provided a testing site at www.npmatesting.com. A proctor designated by
the company is required and the test is closed book. Each technician to be tested must
establish his/her own account on the testing site and must select his/her own username
and password. The login information is NOT the company’s NPMA membership login.
There are fifty random questions on the exam and technicians must score 80% (40 correct)
or better to pass. Technicians who do not pass may retake the exam at no additional cost.
An optional study guide is available through the NPMA Resource Center to provide
education on food plant work and to help pass the exam. Not all questions are directly
from the study guide. The testing site does provide advice on how to prepare for the
exam at www.npmatesting.com.
5

1
SECTION
SECTION 1: PERSONNEL
1.8 Compliance with GMPs
Background
Federal agencies have established regulations to include basic food safety. This
requirement is to ensure compliance with US Current Good Manufacturing Practices or
equivalent in other countries.
Standard
All pest management programs must comply with Current Good Manufacturing Practices
(GMPs). All technicians performing any type of work in food plants must be trained in
requirements of GMPs and plant implementation. Also plants may have GMP-related
requirements beyond GMPs and technicians must be trained in plant policies as well.
Written verification must be on file in the plant and in the company office.
6

Section 2
Pest Management Plan
7

SECTION 2: PEST MANAGEMENT PLAN
2.1 Rodent Program-Exterior Property
Survey
2
SECTION
Prior to developing a rodent management program at each plant site, a thorough
inspection must be made of the entire property. The property should be inspected and
the following observations at a minimum must be identified and documented using a
diagram and/or notes:
• Areas of rodent infestation based upon sightings, harborages, or other evidence
including all areas of the building including roofs
• Areas conducive to infestation of the property such as cluttered areas, open trash,
standing water, potential or confirmed burrowing areas
• Dumpsters which are not on rigid cleanable areas such as concrete pads
• Open doors or gaps in building areas which could permit rodent entry
• Clutter or debris underneath load levelers
• Dock areas that have clutter or debris
• Off loading areas with clutter or debris
• Tall grass and vegetation on property, sidings, and adjacent to buildings
• Perimeter areas of buildings having less than 24” of clearance and areas not having
gravel or other material which will reduce chances of rodent activity
• Neighboring properties which may have conditions leading to infestation
A summary of infestation observations and potential infestation must be documented and
presented to the pest management contact of the plant.
2.2 Rodent Management Plan-Interior
Survey
All areas of the plant interior shall be surveyed for rodents and conditions which may lead
to rodent infestation. These areas shall include but are not limited to:
• Pallet storage
• Warehouse
• Incoming raw materials
• Packaging storage
• Processing
• Finished goods storage
• Returned goods area
• Waste disposal
• Workshop
• Sanitation area
• Offices areas
• Other areas
Any rodent management devices shall be mapped and recorded.
8

SECTION 2: PEST MANAGEMENT PLAN
2.3 Rodent Program-Facility History
Prior to designing and implementing a rodent management program, a company
representative shall interview plant contacts and review all available rodent history
information. This will help develop an effective rodent management plan.
In the course of the inspection, maintenance issues such as but not limited to holes
in walls, pipe chases, bulk feed lines, spilled food items, or open doors/windows shall
be noted. Recommendations shall be made to the plant to reduce chances of future
infestation.
Form NPMA-38 (Appendix A) may be used. As requested by members, optional supplies of
pre-printed NPMA-38 forms in carbonless copy format are available for sale through the
NPMA Resource Center.
2
SECTION
2.4 Rodent Program-Depth Matrix &
Frequency of Service
As a result of an initial inspection, examination of history, and discussions with plant
personnel, the level of rodent management program area can be developed. This is
history versus the potential. If the plant is totally sealed, and there is minimal chance
of infestation by rodents, then the potential is reduced. If there is ample raw material
exposed, or open doors on the building exterior, then the potential is much higher.
For history:
• Category 3 denotes no significant evidence or history in the building in the past year;
• Category 2 denotes no significant evidence or history in the past six months;
• Category 1 denotes significant evidence or history in the past six months. The
following Matrix can determine the level of the management program necessary. The
category assignment of 1 is most intense.
For Potential:
Potential is determined by plant maintenance such as holes, unsealed pipe chases, etc.,
and operations such as open doors, at grade loading docks, etc., and surrounding rodent
pressure
• Category 3 denotes no significant potential for infestation due to plant maintenance
and operations, and rodent pressure
• Category 2 denotes medium potential for infestation due to plant maintenance and
operations, and rodent pressure
• Category 1 denotes high potential for infestation due to plant maintenance and
operations, and rodent pressure
9

SECTION 2: PEST MANAGEMENT PLAN
RODENT MANAGEMENT EXTERIOR PROGRAM-DEPTH MATRIX
Potential and History: Potential for Infestation (One is most intense, two is medium,
and three is least intense)
2
Intensity Increases from 3 to 1
History
SECTION
Potential
3
2
3 2 1
6 5 4
5 4 3
1
4 3 2
The Potential score based upon the above criteria must be determined by and is at
the sole discretion of the pest management company. The history score must also be
determined as previously noted. They are then added together to get a matrix score,
which is the italicized score on the matrix.
FREQUENCY OF SERVICE, EXTERIOR AREAS
For exterior of buildings: If the score is 2, 3, or 4, then the exterior service interval
must be at least twice monthly. If the score is 5 or 6, the exterior service may be monthly.
Results of the analysis and conclusions should be reviewed by and accepted by plant
contact and may be reviewed and adjusted as necessary.
2.5 Rodent Program-Spacing of Rodent
Management Stations
SPACING OF RODENT MANAGEMENT STATIONS
Special note for 2009: There is a trend towards needs-based placement of stations,
either mechanical, bait, monitoring, or other devices, rather than assigning specific
spacing. NPMA supports science based rodent management plans. When these Standards
were conceived, many third party auditors required stations based solely upon spacing
regardless of pest pressures. The Spacing of Stations section is an interim step between
arbitrary placement without justification and implementing rodent management
programs based upon real need supported by scientific evidence. This section will be
modified when the scientific research leads the industry to the new philosophy of rodent
management. NPMA will continue to monitor developments in rodent management in
anticipation of shifting towards this new philosophy when it is ready for industry-wide
adoption.
Note: any placement should be approved by plant contact to make sure that the program
complies with plant corporate policies
Record of service verification such as stickers, cards, or bar codes shall be on the inside of
the station, requiring the station to be opened to record data or to scan.
10

SECTION 2: PEST MANAGEMENT PLAN
Proper care must be exercised to comply with the label in terms of access to children or
non-target animals. If it is not possible to install stations in secure areas then glue boards
or snap traps or other mechanical traps may be used inside of locked and anchored
stations.
Monitoring stations may be used at any interval with a non-toxic block.
EXTERIOR PERIMETER
Property Perimeter: If an exterior property perimeter program is utilized, then based
upon history only, rodent management equipment, such as but not limited to rodent bait
stations or multiple-catch traps, shall be placed along property perimeter areas (e.g. fence
lines or outer boundaries) at the rate of:
• For History Category 1: Spacing of not more than 50 feet
• For History Category 2: Spacing of 50-75 feet
• For History Category 3: Spacing of up to 100 feet
2
SECTION
Exterior Building Areas (buildings at or near exterior walls of buildings on plant property)
Based upon history, rodent bait stations shall be placed along building exterior areas at
the rate of:
• For History Category 1: Spacing of not more than 25 feet
• For History Category 2: Spacing of between 25-50 feet
• For History Category 3: Spacing of up to 75 feet
Rodent management devices should be added adjacent to doors, docks, and ramps to the
level of History Category 1 at least but may be placed adjacent to any exterior opening
per company practices.
INTERIOR OF PLANT
The inside of any exterior wall should have multiple-catch traps or glueboards in stations
at the rate of one per 20-40 feet. In areas of high traffic, stations should be placed directly
against the wall and should be protected or covered if necessary to prevent forklift
damage. Interior traps do not have to be anchored. Traps may be placed along interior
walls at the discretion of the pest management company. Interior rodent management
programs shall be monitored weekly.
Multiple-catch traps may be supplemented at a rate determined by the technician with
snap traps in stations or glue boards added into PVC pipes. These traps may be used also
on mezzanines where equipment is stored and in areas where using large traps may be
cumbersome, such as in areas of heavy activity and dense storage areas. All stations must
be recorded and numbered and records must reflect the placement.
Rodenticides shall not be used inside food plants in any area unless approved by the plant
contact and permitted by label. Upon such a request, any action and reasoning must be
documented and should be temporarily used when there is no exposed food product.
Non-toxic monitoring blocks may be used if permitted by plant contact.
Plants should have an inspection aisle of at least 18 inches along walls. Commonly, this
area is painted white in order to contrast with droppings or insects. Traps may be placed
along these areas.
Due to concerns about allergens, no peanut butter or nut based attractants may be used
inside a plant unless approved by plant contact.
11

SECTION 2: PEST MANAGEMENT PLAN
2.6 Rodent Program-Monitoring
2
SECTION
Adjustments to the program based upon observations may be made at any time. Use of
“temporary” program changes are acceptable. All traps, bait stations, and other devices
must be opened and inspected. Record of service verification or bar code shall be on the
inside of the station requiring the station to be opened. Observations must be recorded as
outlined in the Recordkeeping section.
A master map of all rodent control devices used on the property must be maintained and
kept current.
Rodents must be disposed of in a sanitary method offsite per company policy. Rodents,
droppings, and any urine deposits or residue must be handled using protective gear per
company policy.
2.7 Insect Program
Inspection
A thorough inspection shall be conducted of the exterior of the building including
raw material receiving, receiving docks, shipping docks, load levelers, waste disposal,
entrances, roof areas, exterior storage such as silos, doors and windows, and ventilation
intakes to investigate signs of infestation or possible signs of infestation by stored product
insects.
A thorough inspection of the accessible components of the plant shall be conducted
not less than monthly. The areas to be inspected includes but is not limited to floor/wall
junctures, drop ceilings, equipment, processing areas, warehousing materials and racking,
offices, locker rooms, mezzanines, raw material handling and processing, returned goods
areas, sample areas, windows, ventilation, shop areas, packaging storage and equipment,
laboratory areas, and cafeteria. See 2.10 for documentation.
In the course of the inspection, maintenance issues such as but not limited to holes
in walls, pipe chases, bulk feed lines, spilled food items, or open doors/windows shall
be noted. Recommendations shall be made to the plant to reduce chances of future
infestation.
Stored Product Insects
Determination of the source of stored product pests must be completed prior to action.
Sometimes, a certain lot of raw materials can be isolated as the source. If pests have
spread into the plant, management measures must be performed.
Pheromones and pheromone traps may be used as part of the monitoring and
management processes.
Non-Stored Product Insects and Occasional Invaders
Determination of source and entry point, real or potential, is necessary in developing a
control/management program. Commonly, mechanical alterations on the exterior will
be necessary such as filtering incoming air, sealing cracks, repairing door gaskets or self
closing doors, etc.
Prevention and Management of Insects
Insects shall be managed using a product labeled for the site. These products may be
residual or non-residual products.
12

SECTION 2: PEST MANAGEMENT PLAN
Non-regulated/exempt products (including but not limited to essential oil products,
limestone dusts, etc.) may be used according to the instructions and in a crack and crevice
or spot method only.
Space treatment may be used to reduce adult populations. This may also include the use
of insect growth regulators (IGRs).
General applications may be used only if the use of the product will not contaminate the
food product.
Pests may also be managed by fumigation after coordination with the plant contact.
These standards do not address fumigation specifically.
Insect bait stations may be used in areas not prone to heavy traffic or water accumulation.
2
SECTION
Treatment of electrical panels and boxes must be done with extreme care per the label
and liquids should not be used.
Insect Light Traps and Flying Insect Traps
Insect light traps (ILTs) may be installed to monitor and manage certain flying insects and
to be used in the decision making process for adjusting the program for certain insects
(e.g. Indianmeal moths, fruit flies, etc.). Findings and seasonal requirements will dictate
frequency of inspection. Placement must be according to manufacturer’s instructions and
in compliance with any regulatory policies and guidelines. In absence of instructions, ILTs
should be placed where plant operations will not interfere with the operation. Typically,
ILTs should be placed not less than two feet but not more than five feet above floor level
unless specified by manufacturer instructions or due to special circumstances such as
targeting high flying insects. Any ILT must be recorded on the site layout or map and ILTs
must have the same recordkeeping as other types of traps.
ILTs must be monitored based upon the contract and weekly monitoring is suggested for
most cases unless the traps are in an area or at a time of year when there is no activity
(e.g. unheated warehouse in winter in colder climates). The tray must be emptied. Insects
in the tray must be examined and categorized according to:
• stored product insects
• flies
• occasional invaders
The technician should determine if the types and numbers of insects reveal a concern and
if so, then the insect management program should be modified to address the issue.
Bulbs in ILTs must be changed according to manufacturer’s recommendations but in any
case at least annually. Shatter protection must be in place where food or packaging may
become contaminated by glass.
Sticky type ILTs must be monitored at least monthly and the sticky board must be replaced
if ineffective. Type of insects on the board must be recorded and categorized according to
above.
Sticky type traps including pheromone sticky traps or other flying insect traps must be
monitored at least monthly and the sticky material must be replaced at ineffective. Type
of insects on the board must be recorded and categorized according to above.
The insect program must be reviewed with the plant contact at least annually and
adjustments must be made as necessary. Any services may not contaminate nor potentially
contaminate food, food contact surfaces, or food packaging.
13

SECTION 2: PEST MANAGEMENT PLAN
2.8 Birds and Wildlife
Birds and wildlife can enter plants or plant areas and create contamination or potential
contamination hazards.
2
SECTION
In the course of the inspection, maintenance issues such as but not limited to holes
in walls, pipe chases, bulk feed lines, spilled food items, or open doors/windows shall
be noted. Recommendations shall be made to the plant to reduce chances of future
infestation.
Bird Prevention/Management
Areas susceptible to infestation by birds shall be called to the attention of the plant
contact. If the plant approves, bird prevention measures may be installed. These shall be
any type of wire, net, device, or material to prevent roosting.
No restricted use pesticides designed for scaring of birds may be used inside any structure
where food is exposed. Any such product use shall be in areas inaccessible to non-target
species and plant personnel.
Any interior bird removal shall be by trapping and removal in accordance with
regulations. Exterior infestations such as geese on grounds may be managed by scaring
devices or repellents. Use must be in accordance with manufacturer’s instructions. Use of
protective gear shall be required for removal of nests and/or droppings
Plants should be encouraged to eliminate favorable conditions for bird infestation and
observations by the technician shall be recorded in the log.
Within the confines of the above, additional information on bird management may be
found in the NPMA Pest Management Library, available through the NPMA Resource
Center (www.npmapestworld.org).
Wildlife Prevention/Management
Areas susceptible to infestation by wildlife shall be called to the attention of the plant
contact. If the plant approves, wildlife prevention measures may be installed. These shall
be any type of wire, net, device, or material to prevent entry, nesting, and/or roosting.
This is usually beyond the scope of the original contract and a separate contract should be
developed.
Any miscellaneous animal removal shall be by trapping and removal in accordance
with local regulations. Exterior infestations such as prairie dogs on grounds may be
managed by repellents or other method according to label or instructions. Use must be in
accordance with manufacturer’s instructions.
Plants should be encouraged to eliminate favorable conditions for wildlife infestation and
observations by the technician shall be recorded in the log.
Within the confines of the above, additional information on wildlife biology and
management may be found in the NPMA Pest Management Library.
2.9 Weed Management
Vegetation should not be planted against the buildings (exterior). An inspection band and
clear zone adjacent to the building should be encouraged as part of the periodic audit. If
the company performs weed management, ideally a vegetation free clear zone should be
maintained.
This item shall be checked as part of the normal audit process during pest management
service regardless of whether the company performs weed management. Any
14

SECTION 2: PEST MANAGEMENT PLAN
vegetation around the building should be called to the attention of the plant contact
for management in order to reduce the chances of infestation. Note: Certain types of
vegetation/plantings may be more susceptible to pest harborage. These may be noted
during the audit.
2.10 Pest Management Survey
At least monthly, the pest management company shall perform a survey to look at
infestation by pests and the potential for infestation. Building maintenance, employee
practices, physical conditions of the plant, incoming materials, processing, and shipping
shall be evaluated. Recommendations shall be presented to the plant contact including
results of plant documents such as incoming materials inspection and pest sightings, and
technician observations.
2
SECTION
The NPMA form NPMA 38 or equivalent shall be used to record observations and
recommendations and a copy shall be disclosed to and signed by the plant contact.
All NPMA 38 or equivalent forms shall have one copy submitted to plant contact, one
copy shall be filed with the pest management records and a copy shall be kept by the pest
management firm unless the forms are filed and maintained electronically.
2.11 Quality Assurance
At least once per year, prior to the anniversary of the date on which the company began
pest management services at the food plant, a supervisor, quality assurance staff person,
or a manager from the pest management company shall review the entire program
onsite. The QA audit shall look at the program, records, and frequency, as well as the
monthly audits to make sure that all documentation is in order. In addition, labels and
MSDS must be reviewed to make sure that all products used have current information.
MSDS and labels of pest management products used at that facility must be filed either in
hard copy or via electronic records.
Results of the quality assurance audit must be filed in the plant, with a copy in the pest
management company office.
2.12 Annual Training
At least once per year, the pest management company shall offer to conduct an
educational program for plant personnel. Date, content, and list of those who attend
must be kept in the plant pest management records.
The following staff should be encouraged to participate:
• Management
• Supervisory staff
• Security
• Mechanics
• Production lead staff
• Warehousing staff
• Quality Assurance staff
• Plant contact
• HACCP committee, if applicable
• Others determined by the plant management
15

SECTION 2: PEST MANAGEMENT PLAN
2
SECTION
While the plant ultimately makes the decision as to who may attend, the content shall
include:
• Review of the pest management program
• Product flow
• Vulnerable areas
• Practices which may reduce pest pressures
• Review of audits and monthly reports
• How to record a pest sighting
Review of FDA, state, provincial, local, and third party audits and inspections as related to
pest management.
How plant personnel should interact with pest management tools and devices
2.13 Storage
All pesticides for use in pest management shall be stored off site or in a locked and
secured storage area with adequate spill control and safety equipment for all materials
stored. All storage must be in compliance with government regulations as well as the
policies of the food plant. Any storage requirements listed on the label must also be
addressed. If storage is in a locked cabinet, all room requirements must be met. Fumigants
shall not be stored onsite unless storage requirements of the label are met.
Records must be stored in a secured area.
2.14 Compliance with Plant Food Allergen
Control Program
Background
In recent years, there has been a great emphasis on food allergens, most
notably, peanut products. Many consumers have acute reactions to food
allergens. “Big Eight” allergens include: cow’s milk, eggs, peanuts, tree nuts,
soybean products, wheat, fish, and crustacean shellfish. Consequently, food
plants must declare if there is a possibility of any of these products entering the
food either as an ingredient or an incidental additive. Plant policies and third party
auditor standards may require formal food allergen control programs and these might
affect pest management practices.
Standard
The pest management company must comply with any plant food allergen control
program as it relates to pest management practices.
16

Section 3
Communication
17

SECTION 3: COMMUNICATION
3.1 Reporting
All records and documents may be retained electronically.
All documents in the pest management filing system must be available to the plant
within a reasonable time as determined by the plant. The plant has the option of
requesting copies of all documents produced including service tickets for their files.
The pest management company must keep a backup copy of all documents at the pest
management company office. The pest management company shall not surrender any
copies of materials to any official without the express written permission of the plant
contact or their substitute. If there is a regulatory audit of the pest management such
as the state department of agriculture or other pesticide enforcement agency, the pest
management company may surrender documents to the agency if required.
3
SECTION
While paper backup information may be permitted, official documentation and reporting
listed in these standards shall be retained in the following manner:
Reporting shall provide access to all service data
Record recovery shall be available on demand with the ability to be sorted by product
used, area, pest, date, time, and shift.
Trends shall be determined at the interval of service.
Data onsite may be gathered by handheld electronic devices or manually or a combination
of these methods
Trends may be used to modify the pest management program based upon observations.
All inspections reports such as, but not limited to the NPMA 38, may be available online
18

Section 4
Recordkeeping and Contracts
19

SECTION 4: RECORDKEEPING AND CONTRACTS
4.1 Contracts
Prior to completing any work in a food plant, a signed contract must be in place unless
specifically waived by the food plant and must include:
• Name of Plant
• Plant contact person
• Frequency of visits
• Description of services
• Term of contract
• Fee
• Equipment storage and product storage specifications
• Scope of emergency calls
• Products which may be used
• Service records to be issued to the plant
• Requirement to notify plant of any new products used
4.2 Labels and MSDS
4
SECTION
A copy of all EPA, PMRA (Canadian Pest Management Regulatory Authority), or other
country product labels and Material Safety Data Sheets for pest management products
used at the plant shall be maintained in the plant by the pest management company. Only
labels and MSDS for products which may be used at the plant should be included in the
“active” file. This may also be filed electronically or web-based. A label and MSDS shall be
added for any new products used.
4.3 Pest Sighting Log
Each pest management company shall provide a Pest Sighting Log to be maintained in a
plant office which may be the pest management area. The log shall include dates, times,
locations, type of pest, action taken, and name of reporting employee. The log shall be
reviewed by the technician at each visit and data shall be included in adjusting the pest
management program as necessary. At the periodic training by the pest management
company, the use of the log shall be discussed.
4.4 Licenses and Certificates
Credentials to be maintained at the plant with the pest management records must
include:
• Copy of the certification or registration document, if issued in the plant jurisdiction,
for each person who will perform pest management services in the plant
• Copy of the pest management company license to operate issued by the state or
provincial lead pesticide enforcement agency if issued by the state or province in the
jurisdiction.
• Copy of the insurance certificate
• Copy of proof of successful completion of verifiable training and exam for each
technician servicing the plant.
20

SECTION 4: RECORDKEEPING AND CONTRACTS
4.5 Service Protocols and Standard
Operating Procedures
Standard Operating Procedures shall be developed in partnership between the pest
management company and the food plant. All scope of work information including
methods of inspection and treatment must be documented and approved by the food
plant. Protocols and procedures shall include at least the following:
• Procedures for all current or anticipated pest management activities including
inspections and audits
• Pest sighting log
• Pest activity records
• Treatment Records (see 4.6 for minimum information required)
• Trend reports
• Plant layout with pest management activity information listed such as rodent stations,
monitoring devices, etc.
4.6 Service and Treatment Records
All service records for service including applications and/or monitoring shall include:
• EPA or PMRA registration number
• Product brand name
• Target pest
• Rate of application or % concentration
• Time of application
• Location or site of application
• Amount of finished product used
• Date
• Lot number of product
• Signature of technician
• Signature of plant contact
• Certification or registration number of technician
• Emergency phone number
• Notes and observations and any other records required by the state pest management
enforcement agency
4
SECTION
21

Section 5
National Organic Program
23

SECTION 5: NATIONAL ORGANIC PROGRAM (NOP)
5.1 Working in NOP Facilities
The USDA National Organic Program is governed by Rule 205.271 and requires the
handler or management of the organic facility to use management practices to prevent
pests. While many of the physical prevention methods are beyond the scope of the pest
management company, the NOP records will work with the pest management program
to ensure that there is compliance with Rule 205.271. The NOP does not prevent the
use of pest management methods or products; however, the NOP does require that
pest prevention is done through mechanical or physical management and/or natural or
approved traps and repellents. If these measures fail to manage the pests, the facility may
use a natural substance approved by the organic certifying body, and if that fails, then
a synthetic substance may be used “provided that the handler and the certifying agent
agree on the substance, method of application, and measures to be taken to prevent
contact of the organically produced products or ingredients with the substance used.”
The NOP requires full attention to IPM. The plant will have specialized rules governing
pest management activities in the plant.
In addition to the standards in sections one through four, the NOP facilities will require
the Standard Operating Procedures (SOPs) to prioritize pest management methods based
on the information above. The company shall work with the facility to make sure that the
procedures and SOPs comply with the plant SOPs regarding pest management. See federal
government publications for more information.
Note: some organic facilities are audited by a certification group which may have
approved methods or products.The plant should be consulted as to special requirements.
Procedures to ensure that the food will not be contaminated by any pest management
method must be in place prior to beginning any service.
5
SECTION
24

Appendices
25

APPENDIX A: Model Pest Management Inspection Report
Inspector: ___________________________________________________________________________ Date: _______________
1. No evidence of pest activity
2. No pest harborage areas
3. Adequate trash handling
4. Proper trash containers
5. All trash contained
6. Proper storage of waste paper and cardboard
7. Pavement areas in good repair and properly drained
8. Adequate weed management adjacent to building
9. Adequate exterior rodent management program
10. Adequate exterior insect management program
11. No evidence of bird roosting
12. Sufficient cleaning capabilities to prevent buildup of food which may attract pests (e.g. flour spills
at railroad offloading, corn syrup spills from trucks, etc.)
13. No evidence of plumbing or sewer leaks
14. Screens and vents clean
15. Open doors and windows screened
16. Visible condensate lines clear and clean
A
APPENDIX
Interior Areas
1. Walls: Clean, proper materials, and in good repair
2. Floors: Clean, proper materials, and in good repair
3. Ceilings: Clean, proper materials, and in good repair
4. Elevator pits clean and dry
5. Floor drains clean with secured covers
6. Plumbing in good repair as related to pest potential
7. Visible condensate lines clear and no pooling of condensate
8. Other maintenance issues
9. No evidence of pest activity
10. Inspection aisles properly maintained
11. Other practices issues
12. Packaging material properly stored
13. Containers properly stored and clean
14. Damaged/returned good isolated
15. Equipment clean and pest free
16. Maintenance areas clean and no evidence of pests
17. Sanitation area clean and no evidence of pests; mops and tools stored off floor
18. Compliance with pest portion of GMPs
19. Pest management equipment clean and maintained (e.g. light traps, etc.)
Exterior Areas (including roof areas) OK Corrections Required N/A
Technician: __________________________________________________________________________ Date: _______________
Comments: _______________________________________________________________________________________________
Signature of Technician: ___________________________________________________________________________________
26

Appendix B: Food and Drug Administration, HHS § 110.3
Subpart D — Naturally Occurring Poisonous or Deleterious Substances
[Reserved]
PART 110 — CURRENT GOOD MANUFACTURING PRACTICE IN MANUFACTURING,
PACKING, OR HOLDING HUMAN FOOD — Table of Contents
Subpart A — General Provisions
Sec. 110.3 Definitions.
110.5 Current good manufacturing practice.
110.10 Personnel.
110.19 Exclusions.
Subpart B — Buildings and Facilities
110.20 Plant and grounds.
110.35 Sanitary operations.
110.37 Sanitary facilities and controls.
Subpart C — Equipment
110.40 Equipment and utensils.
Subpart B [Reserved]
Subpart E — Production and Process Controls
110.80 Process and controls.
110.93 Warehousing and distribution
Subpart F [Reserved]
Subpart G — Defect Action Levels
110.110 Natural or unavoidable defects in food for human use that present no health
hazard.
AUTHORITY: 21 U.S.C. 342, 371, 374; 42 U.S.C. 264
SOURCE: 51 FR 24475, June 19, 1986, unless otherwise noted.
Subpart A — General Provisions
§ 110.3 Definitions.
The definitions and interpretations of terms in section 201 of the Federal Food, Drug,
and Cosmetic Act (the act) are applicable to such terms when used in this part. The following
definitions shall also apply:
(a) Acid foods or acidified foods means foods that have an equilibrium pH of 4.6 or
below.
(b) Adequate means that which is needed to accomplish the intended purpose in keeping
with good public health practice.
(c) Batter means a semifluid substance, usually composed of flour and other ingredients,
into which principal components of food are dipped or with which they are coated,
or which may be used directly to form bakery foods.
(d) Blanching, except for tree nuts and peanuts, means a prepackaging heat treatment
of foodstuffs for a sufficient time and at a sufficient temperature to partially or completely
inactivate the naturally occurring enzymes and to effect other physical or biochemical
changes in the food.
(e) Critical control point means a point in a food process where there is a high probability
that improper control may cause, allow, or contribute to a hazard or to filth in the
final food or decomposition of the final food.
(f) Food means food as defined in section 201(f) of the act and includes raw materials
and ingredients.
(g) Food-contact surfaces are those surfaces that contact human food and those surfaces
from which drainage onto the food or onto surfaces that contact the food ordinarily
occurs during the normal course of operations. ``Food-contact surfaces’’ includes utensils
and food-contact surfaces of equipment.
B
APPENDIX
27

Appendix B: Food and Drug Administration, HHS § 110.3
(h) Lot means the food produced during a period of time indicated by
a specific code.
(i) Microorganisms means yeasts, molds, bacteria, and viruses and includes, but is not
limited to, species having public health significance. The term ``undesirable microorganisms’’
includes those microorganisms that are of public health significance, that subject
food to decomposition, that indicate that food is contaminated with filth, or that otherwise
may cause food to be adulterated within the meaning of the act. Occasionally in
these regulations, FDA used the adjective ``microbial’’ instead of using an adjectival phrase
containing the word microorganism.
(j) Pest refers to any objectionable animals or insects including, but not limited to, birds,
rodents, flies, and larvae.
21 CFR Ch. 1 (4-1-101 Edition) § 110.5
(k) Plant means the building or facility or parts thereof, used for or in connection with
the manufacturing, packaging, labeling, or holding of human food.
(l) Quality control operation means a planned and systematic procedure for taking all
actions necessary to prevent food from being adulterated within the meaning of the act.
(m) Rework means clean, unadulterated food that has been removed from processing
for reasons other than insanitary conditions or that has been successfully reconditioned by
reprocessing and that is suitable for use as food.
(n) Safe-moisture level is a level of moisture low enough to prevent the growth of
undesirable microorganisms in the finished product under the intended conditions of
manufacturing, storage, and distribution. The maximum safe moisture level for a food is
based on its water activity (aw). An aw will be considered safe for a food if adequate data
are available that demonstrate that the food at or below the given aw will not support
the growth of undesirable microorganisms.
(o) Sanitize means to adequately treat food-contact surfaces by a process that is effective
in destroying vegetative cells of microorganisms of public health significance, and in
substantially reducing numbers of other undesirable microorganisms, but without adversely
affecting the product or its safety for the consumer.
(p) Shall is used to state mandatory requirements.
(q) Should is used to state recommended or advisory procedures or identify recommended
equipment.
(r) Water activity (aw) is a measure of the free moisture in a food and is the quotient of
the water vapor pressure of the substance divided by the vapor pressure of pure water at
the same temperature.
B
APPENDIX
§ 110.5 Current good manufacturing practice
(a) The criteria and definitions in this part shall apply in determining whether a food
is adulterated (1) within the meaning of section 402(a)(3) of the act in that the food
has been manufactured under such conditions that it is unfit for food; or (2) within the
meaning of section 402(a)(4) of the act in that the food has been prepared, packed, or
held under insanitary conditions whereby it may have become contaminated with filth, or
whereby it may have been rendered injurious to health. The criteria and definitions in this
part also apply in determining whether a food is in violation of section 361 of the Public
Health Service Act (42 U.S.C. 264).
(b) Food covered by specific current good manufacturing practice regulations also is
subject to the requirements of those regulations.
§ 110.10 Personnel
The plant management shall take all reasonable measures and precautions to ensure
the following:
(a) Disease control. Any person who, by medical examination or supervisory observation,
is shown to have, or appears to have, an illness, open lesion, including boils, sores,
or infected wounds, or any other abnormal source of microbial contamination by which
there is a reasonable possibility of food, food-contact surfaces, or food-packaging materials
becoming contaminated, shall be excluded from any operations which may be expected
to result in such contamination until the condition is corrected. Personnel shall be
instructed to report such health conditions to their supervisors.
28

Appendix B: Food and Drug Administration, HHS § 110.3
(b) Cleanliness. All persons working in direct contact with food, food-contact surfaces,
and food-packaging materials shall conform to hygienic practices while on duty to the
extent necessary to protect against contamination of food. The methods for maintaining
cleanliness include, but are not limited to:
(1) Wearing outer garments suitable to the operation in a manner that protects against
the contamination of food, food-contact surfaces, or food-packaging materials.
(2) Maintaining adequate personal cleanliness.
(3) Washing hands thoroughly (and sanitizing if necessary to protect against contamination
with undesirable microorganisms) in an adequate hand-washing facility before starting
work, after each absence from the work
Food and Drug Administration, HHS § 110.20
station, and at any other time when the hands may have become soiled or contaminated.
(4) Removing all unsecured jewelry and other objects that might fall into food, equipment,
or containers, and removing hand jewelry that cannot be adequately sanitized
during periods in which food is manipulated by hand. If such hand jewelry cannot be
removed, it may be covered by material which can be maintained in an intact, clean, and
sanitary condition and which effectively protects against the contamination by these objects
of the food, food-contact surfaces, or food-packaging materials.
(5) Maintaining gloves, if they are used in food handling, in an intact, clean, and sanitary
condition. The gloves should be of an impermeable material.
(6) Wearing, where appropriate, in an effective manner, hair nets, headbands, caps,
beard covers, or other effective hair restraints.
(7) Storing clothing or other personal belongings in areas other than where food is
exposed or where equipment or utensils are washed.
(8) Confining the following to areas other than where food may be exposed or where
equipment or utensils are washed: eating food, chewing gum, drinking beverages, or using
tobacco.
(9) Taking any other necessary precautions to protect against contamination of food,
food-contact surfaces, or food-packaging materials with microorganisms or foreign substances
including, but not limited to, perspiration, hair, cosmetics, tobacco, chemicals, and
medicines applied to the skin.
(c) Education and training. Personnel responsible for identifying sanitation failures or
food contamination should have a background of education or experience, or a combination
thereof, to provide a level of competency necessary for production of clean and safe
food. Food handlers and supervisors should receive appropriate training in proper food
handling techniques and food-protection principles and should be informed of the danger
of poor personal hygiene and insanitary practices.
(d) Supervision. Responsibility for assuring compliance by all personnel with all requirements
of this part shall be clearly assigned to competent supervisory personnel.
[51 FR 24475, June 19, 1986, as amended at 54 FR 24892, June 12, 1989]
§ 110.19 Exclusions.
(a) The following operations are not subject to this part: Establishments engaged solely
in the harvesting, storage, or distribution of one or more ``raw agricultural commodities,’’
as defined in section 201(r) of the act, which are ordinarily cleaned, prepared, treated, or
otherwise processed before being marketed to the consuming public.
(b) FDA, however, will issue special regulations if it is necessary to cover these excluded
operations.
Subpart B — Buildings and Facilities
§ 110.20 Plant and grounds.
(a) Grounds. The grounds about a food plant under the control of the operator shall be
kept in a condition that will protect against the contamination of food. The methods for
adequate maintenance of grounds include, but are not limited to:
(1) Properly storing equipment, removing litter and waste, and cutting weeds or grass
within the immediate vicinity of the plant buildings or structures that may constitute an
attractant, breeding place, or harborage for pests.
B
APPENDIX
29

Appendix B: Food and Drug Administration, HHS § 110.3
(2) Maintaining roads, yards, and parking lots so that they do not constitute a source of
contamination in areas where food is exposed.
(3) Adequately draining areas that may contribute contamination to food by seepage,
foot-borne filth, or providing a breeding place for pests.
(4) Operating systems for waste treatment and disposal in an adequate manner so that
they do not constitute a source of contamination in areas where food is exposed.
If the plant grounds are bordered by grounds not under the operator’s control and not
maintained in the manner described in paragraph (a) (1) through (3) of this section, care
shall be exercised in the plant by inspection, extermination, or other means to exclude
pests, dirt, and filth that may be a source of food contamination.
B
APPENDIX
21 CFR Ch. 1 (4—1—01 Edition) § 110.35
(b) Plant construction and design. Plant buildings and structures shall be suitable in size,
construction, and design to facilitate maintenance and sanitary operations for food-manufacturing
purposes. The plant and facilities shall:
(1) Provide sufficient space for such placement of equipment and storage of materials
as is necessary for the maintenance of sanitary operations and the production of safe
food.
(2) Permit the taking of proper precautions to reduce the potential for contamination
of food, food-contact surfaces, or food-packaging materials with microorganisms, chemicals,
filth, or other extraneous material. The potential for contamination may be reduced
by adequate food safety controls and operating practices or effective design, including
the separation of operations in which contamination is likely to occur, by one or more of
the following means: location, time, partition, air flow, enclosed systems, or other effective
means.
(3) Permit the taking of proper precautions to protect food in outdoor bulk fermentation
vessels by any effective means, including:
(i) Using protective coverings.
(ii) Controlling areas over and around the vessels to eliminate harborages for pests.
(iii) Checking on a regular basis for pests and pest infestation.
(iv) Skimming the fermentation vessels, as necessary.
(4) Be constructed in such a manner that floors, walls, and ceilings may be adequately
cleaned and kept clean and kept in good repair; that drip or condensate from fixtures,
ducts and pipes does not contaminate food, food-contact surfaces, or food-packaging
materials; and that aisles or working spaces are provided between equipment and walls
and are adequately unobstructed and of adequate width to permit employees to perform
their duties and to protect against contaminating food or food-contact surfaces with
clothing or personal contact.
(5) Provide adequate lighting in hand-washing areas, dressing and locker rooms, and
toilet rooms and in all areas where food is examined, processed, or stored and where
equipment or utensils are cleaned; and provide safety-type light bulbs, fixtures, skylights,
or other glass suspended over exposed food in any step of preparation or otherwise protect
against food contamination in case of glass breakage.
(6) Provide adequate ventilation or control equipment to minimize odors and vapors
(including steam and noxious fumes) in areas where they may contaminate food; and
locate and operate fans and other air-blowing equipment in a manner that minimizes the
potential for contaminating food, food-packaging materials, and food-contact surfaces.
(7) Provide, where necessary, adequate screening or other protection against pests.
§ 110.35 Sanitary operations.
(a) General maintenance. Buildings, fixtures, and other physical facilities of the plant
shall be maintained in a sanitary condition and shall be kept in repair sufficient to prevent
food from becoming adulterated within the meaning of the act. Cleaning and sanitizing
of utensils and equipment shall be conducted in a manner that protects against contamination
of food, food-contact surfaces, or food-packaging materials.
(b) Substances used in cleaning and sanitizing; storage of toxic materials. (1) Cleaning
compounds and sanitizing agents used in cleaning and sanitizing procedures shall be free
from undesirable microorganisms and shall be safe and adequate under the conditions of
30

Appendix B: Food and Drug Administration, HHS § 110.3
use. Compliance with this requirement may be verified by any effective means including
purchase of these substances under a supplier’s guarantee or certification, or examination
of these substances for contamination. Only the following toxic materials may be used or
stored in a plant where food is processed or exposed:
(i) Those required to maintain clean and sanitary conditions;
(ii) Those necessary for use in laboratory testing procedures;
(iii) Those necessary for plant and equipment maintenance and operation; and
(iv) Those necessary for use in the plant’s operations.
Food and Drug Administration, HHS § 110.37
(2) Toxic cleaning compounds, sanitizing agents, and pesticide chemicals shall be identified,
held, and stored in a manner that protects against contamination of food, food-contact
surfaces, or food-packaging materials. All relevant regulations promulgated by other
Federal, State, and local government agencies for the application, use, or holding of these
products should be followed.
(c) Pest control. No pests shall be allowed in any area of a food plant. Guard or guide
dogs may be allowed in some areas of a plant if the presence of the dogs is unlikely to
result in contamination of food, food-contact surfaces, or food-packaging materials. Effective
measures shall be taken to exclude pests from the processing areas and to protect
against the contamination of food on the premises by pests. The use of insecticides or
rodenticides is permitted only under precautions and restrictions that will protect against
the contamination of food, food-contact surfaces, and food-packaging materials.
(d) Sanitation of food-contact surfaces. All food-contact surfaces, including utensils and
food-contact surfaces of equipment, shall be cleaned as frequently as necessary to protect
against contamination of food.
(1) Food-contact surfaces used for manufacturing or holding low-moisture food shall
be in a dry, sanitary condition at the time of use. When the surfaces are wet-cleaned, they
shall, when necessary, be sanitized and thoroughly dried before subsequent use.
(2) In wet processing, when cleaning is necessary to protect against the introduction of
microorganisms into food, all food-contact surfaces shall be cleaned and sanitized before
use and after any interruption during which the food-contact surfaces may have become
contaminated. Where equipment and utensils are used in a continuous production operation,
the utensils and food-contact surfaces of the equipment shall be cleaned and sanitized
as necessary.
(3) Non-food-contact surfaces of equipment used in the operation of food plants should
be cleaned as frequently as necessary to protect against contamination of food.
(4) Single-service articles (such as utensils intended for one-time use, paper cups, and
paper towels) should be stored in appropriate containers and shall be handled, dispensed,
used, and disposed of in a manner that protects against contamination of food or foodcontact
surfaces.
(5) Sanitizing agents shall be adequate and safe under conditions of use. Any facility,
procedure, or machine is acceptable for cleaning and sanitizing equipment and utensils if
it is established that the facility, procedure, or machine will routinely render equipment
and utensils clean and provide adequate cleaning and sanitizing treatment.
(e) Storage and handling of cleaned portable equipment and utensils. Cleaned and
sanitized portable equipment with food-contact surfaces and utensils should be stored in
a location and manner that protects food-contact surfaces from contamination.
[51 FR 24475, June 19, 1986, as amended at 54 FR 24892, June 12, 1989]
§ 110.37 Sanitary facilities and controls.
Each plant shall be equipped with adequate sanitary facilities and accommodations
including, but not limited to:
(a) Water supply. The water supply shall be sufficient for the operations intended and
shall be derived from an adequate source. Any water that contacts food or food-contact
surfaces shall be safe and of adequate sanitary quality. Running water at a suitable temperature,
and under pressure as needed, shall be provided in all areas where required
for the processing of food, for the cleaning of equipment, utensils, and food-packaging
materials, or for employee sanitary facilities.
B
APPENDIX
31

Appendix B: Food and Drug Administration, HHS § 110.3
(b) Plumbing. Plumbing shall be of adequate size and design and adequately installed
and maintained to:
(1) Carry sufficient quantities of water to required locations throughout the plant.
(2) Properly convey sewage and liquid disposable waste from the plant.
(3) Avoid constituting a source of contamination to food, water supplies, equipment, or
utensils or creating an unsanitary condition.
B
APPENDIX
21 CFR Ch. 1 (4—1—01 Edition) § 110.40
(4) Provide adequate floor drainage in all areas where floors are subject to floodingtype
cleaning or where normal operations release or discharge water or other liquid
waste on the floor.
(5) Provide that there is not backflow from, or cross-connection between, piping systems
that discharge waste water or sewage and piping systems that carry water for food
or food manufacturing.
(c) Sewage disposal. Sewage disposal shall be made into an adequate sewerage system
or disposed of through other adequate means.
(d) Toilet facilities. Each plant shall provide its employees with adequate, readily accessible
toilet facilities. Compliance with this requirement may be accomplished by:
(1) Maintaining the facilities in a sanitary condition.
(2) Keeping the facilities in good repair at all times.
(3) Providing self-closing doors.
(4) Providing doors that do not open into areas where food is exposed to airborne
contamination, except where alternate means have been taken to protect against such
contamination (such as double doors or positive air-flow systems).
(e) Hand-washing facilities. Hand-washing facilities shall be adequate and convenient
and be furnished with running water at a suitable temperature. Compliance with this
requirement may be accomplished by providing:
(1) Hand-washing and, where appropriate, hand-sanitizing facilities at each location in
the plant where good sanitary practices require employees to wash and/or sanitize their
hands.
(2) Effective hand-cleaning and sanitizing preparations.
(3) Sanitary towel service or suitable drying devices.
(4) Devices or fixtures, such as water control valves, so designed and constructed to protect
against recontamination of clean, sanitized hands.
(5) Readily understandable signs directing employees handling unprotected food,
unprotected food-packaging materials, of food-contact surfaces to wash and, where appropriate,
sanitize their hands before they start work, after each absence from post of
duty, and when their hands may have become soiled or contaminated. These signs may be
posted in the processing room(s) and in all other areas where employees may handle such
food, materials, or surfaces.
(6) Refuse receptacles that are constructed and maintained in a manner that protects
against contamination of food.
(f) Rubbish and offal disposal. Rubbish and any offal shall be so conveyed, stored, and
disposed of as to minimize the development of odor, minimize the potential for the waste
becoming an attractant and harborage or breeding place for pests, and protect against
contamination of food, food-contact surfaces, water supplies, and ground surfaces.
Subpart C — Equipment
§ 110.40 Equipment and utensils.
(a) All plant equipment and utensils shall be so designed and of such material and
workmanship as to be adequately cleanable, and shall be properly maintained. The design,
construction, and use of equipment and utensils shall preclude the adulteration of
food with lubricants, fuel, metal fragments, contaminated water, or any other contaminants.
All equipment should be so installed and maintained as to facilitate the cleaning of
the equipment and of all adjacent spaces. Food-contact surfaces shall be corrosion-resistant
when in contact with food. They shall be made of nontoxic materials and designed to
withstand the environment of their intended use and the action of food, and, if applicable,
cleaning compounds and sanitizing agents. Food-contact surfaces shall be maintained
32

Appendix B: Food and Drug Administration, HHS § 110.3
to protect food from being contaminated by any source, including unlawful indirect food
additives.
(b) Seams on food-contact surfaces shall be smoothly bonded or maintained so as to
minimize accumulation of food particles, dirt, and organic matter and thus minimize the
opportunity for growth of microorganisms.
(c) Equipment that is in the manufacturing or food-handling area and that does not
come into contact with food shall be so constructed that it can be kept in a clean condition.
Food and Drug Administration, HHS § 110.80
(d) Holding, conveying, and manufacturing systems, including gravimetric, pneumatic,
closed, and automated systems, shall be of a design and construction that enables them to
be maintained in an appropriate sanitary condition.
(e) Each freezer and cold storage compartment used to store and hold food capable
of supporting growth of microorganisms shall be fitted with an indicating thermometer,
temperature-measuring device, or temperature-recording device so installed as to show
the temperature accurately within the compartment, and should be fitted with an automatic
control for regulating temperature or with an automatic alarm system to indicate a
significant temperature change in a manual operation.
(f) Instruments and controls used for measuring, regulating, or recording temperatures,
pH, acidity, water activity, or other conditions that control or prevent the growth
of undesirable microorganisms in food shall be accurate and adequately maintained, and
adequate in number for their designated uses.
(g) Compressed air or other gases mechanically introduced into food or used to clean
food-contact surfaces or equipment shall be treated in such a way that food is not contaminated
with unlawful indirect food additives.
Subpart D [Reserved]
Subpart E — Production and Process Controls
§ 110.80 Processes and controls.
All operations in the receiving, inspecting, transporting, segregating, preparing, manufacturing,
packaging, and storing of food shall be conducted in accordance with adequate
sanitation principles. Appropriate quality control operations shall be employed to ensure
that food is suitable for human consumption and that food-packaging materials are safe
and suitable. Overall sanitation of the plant shall be under the supervision of one or more
competent individuals assigned responsibility for this function. All reasonable precautions
shall be taken to ensure that production procedures do not contribute contamination
from any source. Chemical, microbial, or extraneous-material testing procedures shall be
used where necessary to identify sanitation failures or possible food contamination. All
food that has become contaminated to the extent that it is adulterated within the meaning
of the act shall be rejected, or if permissible, treated or processed to eliminate the
contamination.
(a) Raw materials and other ingredients. (1) Raw materials and other ingredients shall
be inspected and segregated or otherwise handled as necessary to ascertain that they are
clean and suitable for processing into food and shall be stored under conditions that will
protect against contamination and minimize deterioration. Raw materials shall be washed
or cleaned as necessary to remove soil or other contamination. Water used for washing,
rinsing, or conveying food shall be safe and of adequate sanitary quality. Water may be
reused for washing, rinsing, or conveying food if it does not increase the level of contamination
of the food. Containers and carriers of raw materials should be inspected on
receipt to ensure that their condition has not contributed to the contamination or deterioration
of food.
(2) Raw materials and other ingredients shall either not contain levels of microorganisms
that may produce food poisoning or other disease in humans, or they shall be
pasteurized or otherwise treated during manufacturing operations so that they no longer
contain levels that would cause the product to be adulterated within the meaning of the
act. Compliance with this requirement may be verified by any effective means, including
B
APPENDIX
33

Appendix B: Food and Drug Administration, HHS § 110.3
purchasing raw materials and other ingredients under a supplier’s guarantee or certification.
(3) Raw materials and other ingredients susceptible to contamination with aflatoxin
or other natural toxins shall comply with current Food and Drug Administration regulations
and action levels for poisonous or deleterious substances before these materials or
ingredients are incorporated into finished food. Compliance with this requirement may
be accomplished by purchasing raw materials and other ingredients under a supplier’s
guarantee or
B
APPENDIX
21 CFR Ch. 1 (4—1—01 Edition) § 110.80
certification, or may be verified by analyzing these materials and ingredients for aflatoxins
and other natural toxins.
(4) Raw materials, other ingredients, and rework susceptible to contamination with
pests, undesirable microorganisms, or extraneous material shall comply with applicable
Food and Drug Administration regulations and defect action levels for natural or unavoidable
defects if a manufacturer wishes to use the materials in manufacturing food. Compliance
with this requirement may be verified by any effective means, including purchasing
the materials under a supplier’s guarantee or certification, or examination of these materials
for contamination.
(5) Raw materials, other ingredients, and rework shall be held in bulk, or in containers
designed and constructed so as to protect against contamination and shall be held at
such temperature and relative humidity and in such a manner as to prevent the food from
becoming adulterated within the meaning of the act. Material scheduled for rework shall
be identified as such.
(6) Frozen raw materials and other ingredients shall be kept frozen. If thawing is required
prior to use, it shall be done in a manner that prevents the raw materials and other
ingredients from becoming adulterated within the meaning of the act.
(7) Liquid or dry raw materials and other ingredients received and stored in bulk form
shall be held in a manner that protects against contamination.
(b) Manufacturing operations. (1) Equipment and utensils and finished food containers
shall be maintained in an acceptable condition through appropriate cleaning and sanitizing,
as necessary. Insofar as necessary, equipment shall be taken apart for thorough cleaning.
(2) All food manufacturing, including packaging and storage, shall be conducted under
such conditions and controls as are necessary to minimize the potential for the growth of
microorganisms, or for the contamination of food. One way to comply with this requirement
is careful monitoring of physical factors such as time, temperature, humidity, aw,
pH, pressure, flow rate, and manufacturing operations such as freezing, dehydration, heat
processing, acidification, and refrigeration to ensure that mechanical breakdowns, time
delays, temperature fluctuations, and other factors do not contribute to the decomposition
or contamination of food.
(3) Food that can support the rapid growth of undesirable microorganisms, particularly
those of public health significance, shall be held in a manner that prevents the food from
becoming adulterated within the meaning of the act. Compliance with this requirement
may be accomplished by any effective means, including:
(i) Maintaining refrigerated foods at 45 deg.F (7.2 deg.C) or below as appropriate for
the particular food involved.
(ii) Maintaining frozen foods in a frozen state.
(iii) Maintaining hot foods at 140 deg. F (60 deg. C) or above.
(iv) Heat treating acid or acidified foods to destroy mesophilic microorganisms when
those foods are to be held in hermetically sealed containers at ambient temperatures.
(4) Measures such as sterilizing, irradiating, pasteurizing, freezing, refrigerating, controlling
pH or controlling aw that are taken to destroy or prevent the growth of undesirable
microorganisms, particularly those of public health significance, shall be adequate
under the conditions of manufacture, handling, and distribution to prevent food from
being adulterated within the meaning of the act.
(5) Work-in-process shall be handled in a manner that protects against contamination.
(6) Effective measures shall be taken to protect finished food from contamination by
34

Appendix B: Food and Drug Administration, HHS § 110.3
raw materials, other ingredients, or refuse. When raw materials, other ingredients, or
refuse are unprotected, they shall not be handled simultaneously in a receiving, loading,
or shipping area if that handling could result in contaminated food. Food transported by
conveyor shall be protected against contamination as necessary.
(7) Equipment, containers, and utensils used to convey, hold, or store raw materials,
work-in-process, rework, or food shall be constructed, handled, and maintained during
manufacturing or
Food and Drug Administration, HHS § 110.80
storage in a manner that protects against contamination.
(8) Effective measures shall be taken to protect against the inclusion of metal or other
extraneous material in food. Compliance with this requirement may be accomplished by
using sieves, traps, magnets, electronic metal detectors, or other suitable effective means.
(9) Food, raw materials, and other ingredients that are adulterated within the meaning
of the act shall be disposed of in a manner that protects against the contamination of
other food. If the adulterated food is capable of being reconditioned, it shall be reconditioned
using a method that has been proven to be effective or it shall be reexamined and
found not to be adulterated within the meaning of the act before being incorporated
into other food.
(10) Mechanical manufacturing steps such as washing, peeling, trimming, cutting, sorting
and inspecting, mashing, dewatering, cooling, shredding, extruding, drying, whipping,
defatting, and forming shall be performed so as to protect food against contamination.
Compliance with this requirement may be accomplished by providing adequate
physical protection of food from contaminants that may drip, drain, or be drawn into the
food. Protection may be provided by adequate cleaning and sanitizing of all food-contact
surfaces, and by using time and temperature controls at and between each manufacturing
step.
(11) Heat blanching, when required in the preparation of food, should be effected
by heating the food to the required temperature, holding it at this temperature for the
required time, and then either rapidly cooling the food or passing it to subsequent manufacturing
without delay. Thermophilic growth and contamination in blanchers should
be minimized by the use of adequate operating temperatures and by periodic cleaning.
Where the blanched food is washed prior to filling, water used shall be safe and of adequate
sanitary quality.
(12) Batters, breading, sauces, gravies, dressings, and other similar preparations shall be
treated or maintained in such a manner that they are protected against contamination.
Compliance with this requirement may be accomplished by any effective means, including
one or more of the following:
(i) Using ingredients free of contamination.
(ii) Employing adequate heat processes where applicable.
(iii) Using adequate time and temperature controls.
(iv) Providing adequate physical protection of components from contaminants that may
drip, drain, or be drawn into them.
(v) Cooling to an adequate temperature during manufacturing.
(vi) Disposing of batters at appropriate intervals to protect against the growth of microorganisms.
(13) Filling, assembling, packaging, and other operations shall be performed in such a
way that the food is protected against contamination. Compliance with this requirement
may be accomplished by any effective means, including:
(i) Use of a quality control operation in which the critical control points are identified
and controlled during manufacturing.
(ii) Adequate cleaning and sanitizing of all food-contact surfaces and food containers.
(iii) Using materials for food containers and food- packaging materials that are safe and
suitable, as defined in Sec. 130.3(d) of this chapter.
(iv) Providing physical protection from contamination, particularly airborne contamination.
(v) Using sanitary handling procedures.
(14) Food such as, but not limited to, dry mixes, nuts, intermediate moisture food, and
B
APPENDIX
35

Appendix B: Food and Drug Administration, HHS § 110.3
dehydrated food, that relies on the control of aw for preventing the growth of undesirable
microorganisms shall be processed to and maintained at a safe moisture level.
Compliance with this requirement may be accomplished by any effective means, including
employment of one or more of the following practices:
(i) Monitoring the aw of food.
(ii) Controlling the soluble solids-water ratio in finished food.
(iii) Protecting finished food from moisture pickup, by use of a moisture barrier or by
other means, so that the
21 CFR Ch. 1 (4—1—01 Edition) § 110.93
aw of the food does not increase to an unsafe level.
(15) Food such as, but not limited to, acid and acidified food, that relies principally
on the control of pH for preventing the growth of undesirable microorganisms shall be
monitored and maintained at a pH of 4.6 or below. Compliance with this requirement
may be accomplished by any effective means, including employment of one or more of
the following practices:
(i) Monitoring the pH of raw materials, food in process, and finished food.
(ii) Controlling the amount of acid or acidified food added to low-acid food.
(16) When ice is used in contact with food, it shall be made from water that is safe and
of adequate sanitary quality, and shall be used only if it has been manufactured in accordance
with current good manufacturing practice as outlined in this part.
(17) Food-manufacturing areas and equipment used for manufacturing human food
should not be used to manufacture nonhuman food-grade animal feed or inedible products,
unless there is no reasonable possibility for the contamination of the human food.
[51 FR 24475, June 19, 1986, as amended at 65 FR 56479, Sept. 19, 2000]
§ 110.93 Warehousing and distribution.
Storage and transportation of finished food shall be under conditions that will protect
food against physical, chemical, and microbial contamination as well as against deterioration
of the food and the container.
Subpart F [Reserved]
B
APPENDIX
Subpart G — Defect Action Levels
§ 110.110 Natural or unavoidable defects in food for human use that present no health
hazard.
(a) Some foods, even when produced under current good manufacturing practice,
contain natural or unavoidable defects that at low levels are not hazardous to health.
The Food and Drug Administration establishes maximum levels for these defects in foods
produced under current good manufacturing practice and uses these levels in deciding
whether to recommend regulatory action.
(b) Defect action levels are established for foods whenever it is necessary and feasible
to do so. These levels are subject to change upon the development of new technology or
the availability of new information.
(c) Compliance with defect action levels does not excuse violation of the requirement
in section 402(a)(4) of the act that food not be prepared, packed, or held under unsanitary
conditions or the requirements in this part that food manufacturers, distributors,
and holders shall observe current good manufacturing practice. Evidence indicating that
such a violation exists causes the food to be adulterated within the meaning of the act,
even though the amounts of natural or unavoidable defects are lower than the currently
established defect action levels. The manufacturer, distributor, and holder of food shall at
all times utilize quality control operations that reduce natural or unavoidable defects to
the lowest level currently feasible.
(d) The mixing of a food containing defects above the current defect action level with
another lot of food is not permitted and renders the final food adulterated within the
meaning of the act, regardless of the defect level of the final food.
(e) A compilation of the current defect action levels for natural or unavoidable defects
in food for human use that present no health hazard may be obtained upon request from
36

Appendix B: Food and Drug Administration, HHS § 110.3
the Center for Food Safety and Applied Nutrition (HFS-565), Food and Drug Administration,
5100 Paint Branch Pkwy., College Park, MD 20740.
[51 FR 24475, June 19, 1986, as amended at 61 FR 14480, Apr. 2, 1996; 66 FR 56035, Nov. 6,
2001]
PART 111— CURRENT GOOD MANUFACTURING PRACTICE FOR DIETARY
SUPPLEMENTS
AUTHORITY: 21 U.S.C. 321, 342, 371.
SOURCE: 62 FR 2249, Jan. 15, 1997, unless otherwise noted.
This electronic document was downloaded from the GPO web site, May 2004, and is
provided for information purposes only. The Code of Federal Regulations, Title 21, is
updated each year in early summer. The most current version of the regulations may be
found at the GPO web site or from the current printed version.
B
APPENDIX
37

COPYRIGHT 2009 by the National Pest Management Association.
All rights reserved. No part of this publication may be reproduced
in any form or by any means, electronics or mechanical, including
photocopying, without permission in writing from the publisher.
Address all enquiries to NPMA, 10460 North Street, Fairfax, VA
22020, U.S.A. (phone 703-352-6762, fax 703-352-3031).
41

NATIONAL PEST MANAGEMENT ASSOCIATION
10460 North Street, Fairfax, VA 22030
phone 703-352-NPMA (6762)
fax 703-352-3031
www.npmapestworld.org